Head of Compliance & Legal -Europe

Job Title: Head of Compliance & Legal-Europe

Reference: AJB JB IB 39

Location: LONDON

Assignment Profile:
Our client is an International Trading company. They employ the very best people across all their business units and provide them with the best tools and support to do a great job. The company is expanding rather rapidly on a global basis and will continue to do so for some time to come. Currently, the London office has about 100 people. Our client is seeking a an outstanding candidate to act as Head of Legal and Compliance to work in a stand alone position for the time being, but additional assistance will be provided once it is required The main purpose of the role Legal Take responsibility for all company legal matters for the European entities as well as Shareholder matters, and litigation, working closely with external legal counsel in Europe, other company Legal Officers and external counsel in other jurisdictions. Compliance Overall responsibility for the compliance functions in all European offices. Duties and Responsibilities Provision of regulatory advice to all levels of the company and handle day to day queries across the company Co-ordination of advice with external counsel on a range of matters including litigation and shareholder matters Provide accurate and timely technical advice to the board and senior management Manage policies and procedures that enable the business to comply with FSA rules and other applicable laws and regulations Liaison with the FSA and Exchanges as required Notifications under the rules as required to regulators and Exchanges  Responding to queries in respect of regulation from Exchanges and counterparties Making any necessary regulatory reports or filings with Exchanges Resolution of issues raised by the regulator and exchanges Preparation of periodic reports to the CFO, RGM and Board as required Represent company on all regulatory audits and inquiries Advise European based business units on all corporate legal matters Work with overseas Legal Counsel counterparts on various issues, including litigation Draft and negotiate various types of legal documents and proactively resolve legal disputes Negotiate contracts and work with external lawyers on all asset management related matters for the company.

Candidate Profile:
A compliance professional with a minimum of 10 years regulatory experience A qualified lawyer with a minimum of 6 years experience Thoroughly conversant with Corporations law, FSA Rules and associated guidance. Knowledge of both derivatives and securities products Legal knowledge and experience in broad European regions an advantage Previous exposure to regulators and exchanges working with legal matters A good understanding of the financial markets and products traded within them. Able to work in a time-pressured and dynamic environment with a high degree of accuracy, whilst maintaining focus and concentration Good interpersonal skills and relationship management are essential for dealing with people at all levels. Confident manner Good management skills Excellent team player Analytical and Reasoning Understand complex business and regulatory concepts and is able to anticipate and identify key issues and problems and bring them to the attention of Senior Management, as necessary Can question and probe to get to the crux of an issue quickly and accurately Develops recommendations based on detailed research and analysis combined with a thorough understanding of both the regulatory obligations and commercial context Commercial Awareness Has a thorough understanding of the commercial strategy of the company and ensures that the work compliments and supports it Ensures that the work undertaken is done to a consistently excellent standard Is able to provide advice and devise effective control processes and monitoring activities to ensure that the company’s exposure to regulatory and operational risk is minimised

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £120-150,0000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.